Cathleen Brock
Cathleen Brock is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in Fort Walton Beach, FL, with 32 years of industry experience. Cathleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
91 Racetrack Rd Nw, Fort Walton Beach, FL, 32547
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Synovus Securities, INC.
Synovus Securities, INC.Broker
Compass Brokerage, INC.Broker
Bancorp Investment Group, LTD.Broker
Dean Witter Reynolds INC.Broker
State Registrations31 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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